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Professional regulatory practices assessment: Rating guide
October 14, 2014
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Professional Regulatory Practices Self-Assessment3.1
The Professional regulator Self-Assessment is a framework which professional regulators can use to assess their effectiveness as professional regulators.
The purpose or mission of professional regulators is to protect the public interest by ensuring that their members are competent and act in an ethical manner. In this self-assessment, performance as a professional regulator is defined in terms of practices. These practices are either causes or enablers of performance as a professional regulator. The self-assessment is comprised of 95 practice elements. Two standards of performance are defined: basic and excellent.
Basic This is a level of performance which meets all basic requirements.
Excellent This level of performance defines what could be referred to as the ‘gold standard’.
Scoring the Professional regulator Self-assessment
The Professional regulator Self-assessment is scored as follows:
1 The practice falls short of the ‘basic’ standard
2 The practice is at the ‘basic’ standard
3 The practice is better than the ‘basic’ standard but falls short of the ‘excellent’ standard
4 The practice is at the ‘excellent’ standard
5 The practice surpasses the ‘excellent’ standard
The following scores are derived:
1. The percentage of practices which fail to meet the ‘basic standard’2. The percentage of practices which meet the ‘excellent’ standard or better3. The average score across all practices
Each of these scores provides a different perspective on performance as a professional regulator.
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Professional Regulatory Practices Self-Assessment: The Practices
1. The professional regulator’s mission, vision, values statement clearly reflects the organization’spublic protection mandate ................................................................................................................... 9
2. Protection of the public interest is demonstrably the core concern of the regulator’s governingcouncil or board .................................................................................................................................... 9
3. There is deep interest in and commitment to professional regulation on the part of governingcouncil or board members .................................................................................................................. 10
4. The professional regulator has a clear and concrete understanding of what ‘protection of thepublic’ or ‘public interest mandate’ means. ....................................................................................... 10
5. Regulatory activities are focused on risk mitigation and risk minimization ....................................... 11
6. All governing council or board members, volunteers, and key staff members receive an orientationand training as to the nature and implications of being a professional regulator ............................. 11
7. Governing council or board members are required to participate in training with respect to thegovernance aspects of the professional regulation and their role in such governance ..................... 12
8. All volunteers are oriented and trained before they participate in making regulatory decisions ..... 12
9. The public protection mandate of the organization is an integral aspect of the governing council orboard recruitment process ................................................................................................................. 13
10. The professional regulator provides a meaningful voice to the public and users of the professionalservice on the Board ........................................................................................................................... 13
11. Governance mechanisms have been put in place to ensure that the strategic and operationaldecisions made by the professional regulator are free from interference from other agendas ....... 14
12. Governance mechanisms have been put in place to ensure the independence of adjudicativecommittees ......................................................................................................................................... 14
13. The mandates and terms of reference of all regulatory committees are made public ...................... 15
14. The professional regulator operates in a transparent manner .......................................................... 15
15. The professional regulator is perceived to have integrity as a regulator ........................................... 15
16. The professional regulator is perceived to have deep respect for process ........................................ 16
17. The professional regulator is perceived to make judicious use of its regulatory powers .................. 16
18. The professional regulator is perceived as treating all individuals with respect ................................ 16
19. The professional regulator is seen to act when any professionals under their oversight appear tomisbehave. .......................................................................................................................................... 16
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20. The professional regulator is committed to making it possible for persons with disabilities to be ableto fully participate in any regulatory process ..................................................................................... 17
21. The professional regulator has a written and published privacy policy that is appropriate for aprofessional regulator......................................................................................................................... 18
22. The professional regulator ensures that all parties are aware and understand the respective roles ofstaff and volunteers ............................................................................................................................ 18
23. There is a strong commitment to the public protection mandate throughout the organization onthe part of all staff .............................................................................................................................. 18
24. The professional regulator has a well worked-out short-term and medium-term operational plan asto how it will meet its public protection mandate. ............................................................................ 19
25. There exists a multi-year strategic plan for professional regulation .................................................. 19
26. The organizational performance measurement system is adapted to the context of professionalregulation and supports the professional regulator’s public protection mandate ............................ 20
27. The professional regulator’s annual report gives an account of the regulator’s achievements inregards to its public protection mandate ........................................................................................... 20
28. Financial planning ensures adequate resources available to support ongoing regulatory activities . 20
29. The professional regulator ensures that staff have the specialized skills required to supportregulatory activities ............................................................................................................................ 21
30. The professional regulator has a strong record keeping and record management capability ........... 21
31. The professional regulator has a balanced approach between proactive and reactive approaches toregulation ............................................................................................................................................ 22
32. From time to time, the professional regulator will engage external experts to audit various aspectsof its regulatory activities ................................................................................................................... 22
33. The professional regulator is genuinely committed to continuous improvement as a professionalregulator ............................................................................................................................................. 22
34. All regulatory processes and procedures are thoroughly documented and this documentation isreadily accessible to all interested parties ......................................................................................... 23
35. The organization’s website clearly supports the public protection mandate .................................... 23
36. Members of adjudicative committees are given specific guidance as to what is appropriatebehaviour as an adjudicator ............................................................................................................... 23
37. The regulatory body has a public relations strategy to reach out to the public and build awarenessof, and confidence in, the regulator’s regulatory role ........................................................................ 24
38. The professional regulator encourages stakeholder involvement in the activities of the professionalregulator ............................................................................................................................................. 24
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39. The professional regulator keeps abreast of new developments in the field of professionalregulation ............................................................................................................................................ 25
40. The professional regulator participates actively in the professional regulatory community ............. 25
41. The professional regulator is quick to adapt and implement best practices of other regulatorybodies.................................................................................................................................................. 26
42. The professional regulator works constructively with all governmental agencies that are responsiblefor ensuring its compliance with legislation to which the professional regulator is subject ............. 26
43. Regulatory policy development is proactive....................................................................................... 27
44. Regulatory policy development process systematically seeks out the input and participation of allstakeholder groups ............................................................................................................................. 27
45. Regulatory policy development reflects the complexity of many regulatory issues and includes theopinions of experts ............................................................................................................................. 27
46. Policy development process is thorough and evidence-based ........................................................... 28
47. There is legal review for all key regulatory policies ............................................................................ 28
48. Protecting the public interest is the key concern that drives the development, establishment,maintenance, and enforcement of standards. ................................................................................... 29
49. To the extent that enabling legislation permits, the professional regulator implement effectivequality assurance programs ................................................................................................................ 29
50. The professional regulator monitors all aspects where the performance of professionals may fallshort of the expectations of the public for possible intervention ...................................................... 30
51. The professional regulator has a systematic process for identifying where there may be a need toissue guidance to professionals .......................................................................................................... 30
52. Professional guidance is developed in a careful, disciplined, and systematic manner. ..................... 31
53. The professional regulator provides effective guidance to members as to what constitutesappropriate and inappropriate professional conduct ........................................................................ 31
54. The professional regulator provides guidance to members in a timely manner. .............................. 32
55. The professional regulator is effective in communicating standards or guidelines to professionalsand on the obligations that come from being self-regulating professionals ..................................... 32
56. Guidance goes beyond minimum standards of competence and conduct ........................................ 32
57. Once promulgated, the professional regulator follows-up to assess whether specific professionalguidance is having the intended impact. ............................................................................................ 33
58. The professional regulator uses a variety of means to promote competent and ethical conduct byregulated professionals ...................................................................................................................... 33
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59. The professional regulator has programs to communicate to the public at large as to what are thestandards of the profession ................................................................................................................ 33
60. The standards of professional conduct are written in such a way as to be understandable by thepublic .................................................................................................................................................. 34
61. The professional regulator has developed a coherent standard in regards to the education andtraining required for registration or certification. .............................................................................. 34
62. The professional regulator has put in place quality assurance processes for educational and trainingprogrammes which ensure that educational and training programmes meet and continue to meetestablished standards. ........................................................................................................................ 35
63. Educational and training standards go beyond simply the technical competencies to include allaspects of competence required for safe and effective practice including professionalism andprofessional ethics. ............................................................................................................................. 35
64. The professional regulator works cooperatively with educational institutions to ensure that thecurriculum adequately prepares students for careers as professionals ............................................ 36
65. Information as to the accreditation standards relating to education and training and as to theaccreditation status of specific programs is publically available. ....................................................... 36
66. In some way or another, the professional regulator ensures that professionals get feedback on theirpractice as professionals. .................................................................................................................... 37
67. The professional regulator has policies, procedures, and programs in place to ensure that certifiedmembers maintain their competence over time ............................................................................... 37
68. The continuing professional development process is linked to identified risks related to the practiceof the profession ................................................................................................................................. 38
69. Registration and certification processes are demonstrably transparent, objective, impartial and fair ............................................................................................................................................................ 38
70. Certification requirements are supported by an up-to-date practice analysis study ......................... 39
71. All certification requirements are objectively related to the capacity to deliver professional servicesat a level that ensures safe and effective practice ............................................................................. 39
72. The professional regulator ha put in place a certification process which is thorough and rigourous 40
73. There is a documented process and procedure established to verify that applicants meet theestablished requirements for any category of registration ................................................................ 40
74. Processes are in place to ensure that only individuals who have integrity, candour, honesty,trustworthiness, moral and ethical standards are admitted to the profession ................................. 41
75. The regulatory body informs all applicants of any rights the applicants may have to request afurther review of, or appeal from, the registration or certification decisions ................................... 41
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76. Upon initial registration, all registrants are informed of the terms and conditions of membershipand must indicate their agreement in writing to such terms and conditions .................................... 42
77. The professional regulator acts to protect the designation(s) from misuse ...................................... 42
78. Any mutual recognition agreements with regulators in other jurisdictions must ensure the publicprotection ........................................................................................................................................... 43
79. The professional regulator has well worked-out policies and procedures for dealing withinternationally-educated applicants. .................................................................................................. 43
80. The public register is published on the website and easy to find even for occasional visitors to thewebsite................................................................................................................................................ 43
81. The public register contains all the information the public needs to know about a professionalAgain, the contents of the public register must be guided by the public protection mandate. ........ 44
82. The professional regulator encourages use of its public register by the public ................................. 44
83. The professional regulator educate the public as to when it is appropriate to file a complaintagainst a professional ......................................................................................................................... 44
84. The professional regulator has a number of processes that facilitate the informal resolution ofcomplaints .......................................................................................................................................... 45
85. The professional regulator is impartial and appear to be impartial in the handling of complaints andis seen to be such ................................................................................................................................ 45
86. Complaints are used to guide programs and initiatives ..................................................................... 45
87. Complaints are addressed without delay ........................................................................................... 46
88. The professional regulator carry out thorough and professional investigations ............................... 46
89. The discipline process has rules of procedure which are published and accessible .......................... 46
90. Disciplinary proceedings meet high standards of procedural fairness ............................................... 47
91. The right balance is struck between administrative efficiency and procedural fairness ................... 47
92. Discipline hearings are public and publicized ..................................................................................... 47
93. Results of discipline hearings made public ......................................................................................... 48
94. There is an independent and impartial internal review or appeals process ...................................... 48
95. The grounds for appeal are clearly spelled out and published ........................................................... 48
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1. The professional regulator’s mission, vision, values statement clearly reflects the organization’s publicprotection mandate.
The defining characteristic of professional regulators is their public protection mandate. This public protectionmandate should inform and guide all aspects of the organization.
Basic Excellent
The professional regulator’s mission, vision, values reflect the organization’s public protection mandate.
The mission, vision and values of the organization clearly state the organization’s public protection mandate.
2. Protection of the public interest is demonstrably the core concern of the regulator’s governing council orboard.
To be self-regulated under legislation means to be self-regulated in the public interest. The rationale for anyregulation of a profession is that regulation is needed in order to protect those who require the specializedknowledge and skill of professionals. Self-regulation requires that members of the professional regulator’sgoverning council or board set aside self-interest or the interests of the profession and to put the publicinterest first. Protection of the public interest must be a core concern of the regulator’s governing council orboard.
Basic Excellent
Protection of the public is a concern of the regulator’s governing council or board. The organization does realize that it does have a public protection mandate, but this is not always in evidence in day-to-day decisions. At times, protection of the public interest may appear to be more lip service than a real concern.
Protection of the public interest is clearly a core concern of the regulator’s governing council or board. This concern informs all important decisions. This concern is genuine and is more than just lip service. Concern for the protection of the public guides and informs all decisions of the regulator’s governing council or board.
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3. There is a deep interest in and commitment to professional regulation on the part of governing council orboard members.
Professional regulation is a challenging endeavour—it asks members of a profession to put self-interest asideand to use their insider knowledge of a profession in the service of the public. It is also the case thatprofessional regulation involves specialized knowledge. Members of the governing council or board oftenhave a steep learning curve before them as they learn the regulatory ropes. It takes a deep interest in andcommitment to professional regulation to make the investments required to become an effective member ofthe governing council or board of a professional regulator.
Basic Excellent
Members of the governing council or board do show an interest in or commitment to professional regulation.
Members of the governing council or board have a deep interest in and commitment to professional regulation. Members of the governing council or board demonstrate a strong sense of obligation in fulfilling the organization’s public protection mandate. Members of the governing council or board understand and act in a manner that demonstrates that they understand that self-regulation is a privilege rather than a right. Members of the governing council or board have made efforts to understand how professional regulation works. Members of the governing council or board make efforts to keep up to date with new developments in the field of professional regulation.
4. The professional regulator has a clear and concrete understanding of what ‘protection of the public’ or‘public interest mandate’ means.
A real challenge with ‘protection of the public’ or ‘public interest mandate’ is that these terms can becomeslogans which are nice in the abstract but lack substance. The more ‘protection of the public’ or ‘publicinterest mandate’ are abstract concepts, the easier it is to keep the concept at the level of ‘lip service’ and themore there can be a ‘disconnect’ between ‘protection of the public’ or ‘public interest mandate’ as conceptsand day-to-day activities. Professional regulators need to bring concepts such as ‘protection of the public’ or‘public interest mandate’ from the abstract to a more concrete level.
Basic Excellent
‘Protection of the public’ or ‘public interest mandate’ are concepts that are not always well defined in a concrete or practical manner. There can be ‘disconnects’ between the concepts and practice.
The professional regulator takes steps to ensure that concepts such as ‘protection of the public’ or ‘public interest mandate’ are grounded at the concrete or practical level. The linkage of practices or activities to guiding concepts such as ‘protection of the public’ or ‘public interest mandate’ is not taken for granted. There is a real concern not to allow disconnects between concept and practice.
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5. Regulatory activities are focused on risk mitigation and risk minimization.
The essential purpose of professional regulation is to reduce or mitigate the risks posed to the publicstemming from the practice of a profession. It is important for professional regulators to have a good handleon the specific risks posed by the practice of a profession.
Basic Excellent
The professional regulator has identified the risks posed by the practice of the profession although the quantification and tracking of such risks may not be quite systematic or thorough.
The professional regulator has identified and quantified the risks posed by the practice of the profession. These risk-based measures are used to measure the effectiveness of regulatory activities.
6. All governing council or board members, volunteers, and key staff members receive an orientation andtraining as to the nature and implications of being a professional regulator.
It cannot be expected that individuals who are elected or appointed to the governing council or the board,individuals who are appointed to various committees, and individuals who are offered employment with theprofessional regulator will know much about professional regulation. It is important that governing council orboard members, volunteers, and key staff members receive formal orientation and training as to the natureand implications of being a professional regulator.
Basic Excellent
All governing council or board members and key staff members are provided basic information about the nature and implications of being a professional regulator.
All governing council or board members and key staff members are required to participate in an orientation program regarding the nature and implications of being a professional regulator. Senior members of the governing council or board fully support and participate in the delivery of the orientation and training of new members of the council or board.
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7. Governing council or board members are required to participate in training with respect to the governanceaspects of the professional regulation and their role in such governance.
Practice element #5 above related to a broad introduction to professional regulation. In addition to this broadintroduction, members of the governing council or board should receive specific training with respect to theirrole and accountabilities. The implications of being a professional regulator on governance should be part ofthis training.
Basic Excellent
Governing council or board members are required to participate in training specific to the governance aspects of the professional regulator and their role in such governance. Nonetheless, the training may be superficial and may lack follow-up to ensure that governing council or board members understand the material.
Governing council or board members are required to participate in training with respect to the governance aspects of The professional regulator and their role in such governance. The training is substantial and there is a follow-up to ensure that governing council or board members understand the material.
8. All volunteers are oriented and trained before they participate in making regulatory decisions.
For many volunteers, the role of an adjudicator may be a new one—one that is unfamiliar. Some newermembers of adjudicative committees may even be somewhat intimidated by the responsibility entrusted tothem. All volunteers are oriented and trained before they participate in making regulatory decisions.
Basic Excellent
The professional regulator does have a program or initiative for volunteers which orients them to their duties as volunteers and assists them in getting up to speed with respect to their participation in regulatory decision-making, but the program may be superficial and there is no mechanism to ensure that the volunteers have absorbed the information in the training program.
All volunteers are oriented and trained before they participate in making regulatory decisions. The training is focused and comprehensive. Volunteers are required to complete the orientation and training before they can assume their role in various regulatory committees.
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9. The public protection mandate of the organization is an integral aspect of the governing council or boardrecruitment process.
Waiting until an individual has been elected or appointed to the governing council or board of a professionalregulator before introducing them to the fundamental mandate of professional regulators is not optimal.Anyone who stands for election or appointment to the governing council or board of a professional regulatorshould understand the public protection mandate of the professional regulator.
Basic Excellent
The public protection mandate of the organization plays a meaningful part in the recruitment of new governing council or board members. Nonetheless, the role of the public protection mandate in the recruitment of new governing council or board members may be subdued or obscured by other agendas and concerns.
The public protection mandate of the organization is an integral aspect of the governing council or board recruitment process. All nominees for governing council or board positions must be aware of and support the organization’s public protection mandate.
10. The professional regulator provides a meaningful voice to the public and users of the professional service onthe Board.
In many professional regulatory boards or councils, enabling legislation specifies the number of publicmembers that are required to sit on the board or council—but this does not necessarily mean that thesepublic members are provided with a meaningful voice. In part, the appointment of public members is to guardagainst ‘regulatory capture,’ whereby a bias in favour of the profession may unwittingly influence decision-making.
Basic Excellent
The board of council includes the requisite number of public members, but these are not always fully leveraged in ensuring that bias in favour of the profession does not unwittingly influence decision-making.
The professional regulator is fully cognizant of the dangers of ‘regulatory capture’ and leverages its public members to ensure that any unwitting bias in favour of the profession does not influence decision-making. The professional regulator provides a meaningful voice to the public and users of the professional service on the Board
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11. Governance mechanisms have been put in place to ensure that the strategic and operational decisionsmade by the professional regulator are free from interference from other agendas.
Professional self-regulation is difficult in itself in that it asks members of a profession to put self-interest asideand to use their insider knowledge of a profession in the service of the public. The concern is that protectionof the public interest might be compromised in some manner or to some degree—for instance, that theprofessional regulator would put the interest of the profession before the interest of the public, that theprofessional regulator would ‘protect its own’ and ‘go soft’ on disciplining its members, or that theprofessional regulator would shy away from implementing regulatory measures that would be unpopularamong members of the profession. As well, there is also the risk that the professional regulator would putcommercial interests before that of the public.
Basic Excellent
Although the professional regulator recognizes that maintaining the independence of regulatory decisions from interference from other agendas and interests, there are few safeguards that have been put in place.
The professional regulator is vigilant in regards to assuring the independence of its regulatory decisions and in ensuring that protection of the public interest mandate is not compromised by other interests or agendas.
12. Governance mechanisms have been put in place to ensure the independence of adjudicative committees.
Adjudicative committees are to be impartial and independent. Their decisions should be free of any undueinfluence. This is not always easy to do, especially when the decisions of an adjudicative committee may goagainst the professional regulator or may be costly for the professional regulator. It is those subtle forms ofinfluence that the professional regulator must be particularly concerned with.
Basic Excellent
The professional regulator recognizes that adjudicative committees should not be subjected to undue influence but has no specific mechanisms in place to ensure the independence of adjudicative committees.
The professional regulator makes it clear to all that regulatory committees must be, and appear to be, independent and free from ant outside influence and interference. Regulatory members are made aware that their duty is to make fair and impartial decisions. The independence of regulatory committees is entrenched in the terms of reference for the committees. Where appropriate or required, the regulatory committees have access to independent legal counsel.
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13. The mandates and terms of reference of all regulatory committees are made public.
This practice could be understood as part of the more general requirement for transparency but is morespecific. Members of the profession and members of the public should be able to access information aboutthe various regulatory committees and what they do.
Basic Excellent
Although available to the public, The mandates and terms of reference of all regulatory committees are not easy to find or get at.
The mandates and terms of reference of all regulatory committees are made public and are easily accessible.
14. The professional regulator operates in a transparent manner.
Transparency means that the activities of the professional regulator are carried out in a manner that is opento scrutiny. Transparency is usually understood as an important driver of public confidence. It isacknowledged that the public may not be as trusting as it once was of professional regulatory bodies—transparency is one factor in maintaining or restoring public confidence.
Basic Excellent
The professional regulator is ‘passively transparent.’ Most decision-making processes are open but not always easily accessible. Although there is a desire to operate in a transparent manner, the professional regulator may still be perceived to operate in a non-transparent manner.
The professional regulator goes beyond being ‘passively transparent.’ The professional regulator takes a more active approach to ensure participation by various stakeholders in various regulatory processes. The professional regulator will invite public participation and scrutiny of its regulatory activities.
15. The professional regulator is perceived to have integrity as a regulator.
Integrity is important, but this practice element gets at perceived integrity. Although regulatory decisionsmade by the professional regulator may be made with integrity, it is not necessarily the case that theprofessional regulator will be perceived to be acting with integrity. Some professional regulators are betterthan others in cultivating and maintaining a strong image of integrity among all stakeholders.
Basic Excellent
Although the professional regulator may have its critics, on the whole, the professional regulator is clearly trusted by stakeholders to act with integrity in matters of professional regulation.
The professional regulator is widely perceived to have a strong sense of integrity. Policies are applied consistently. It would be inconceivable to this regulator to grant special favours, bend a rule, or preferential treatment to anyone. Not only does the regulator act with integrity, it has a strong reputation for doing so.
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16. The professional regulator is perceived to have deep respect for process.
Much that professional regulators do rests upon process. On the other hand, some dislike process as beingcumbersome, inefficient, and wasteful. Some dislike process because it may get in the way of getting thingsdone the way they want things to be done. Again, respect for process and perceptions of respect for processare different things.
Basic Excellent
Although the professional regulator may have a respect for process, this is not necessarily a key aspect of the professional regulator’s image and reputation. Some stakeholders may not trust that the professional regulator will consistently behave according to established process.
It is widely perceived that the professional regulator would never cut corners, even when no one is watching. Not only does the professional regulator have a deep respect for process, it has a strong reputation for this respect for process.
17. The professional regulator is perceived to make judicious use of its regulatory powers.
To be a professional regulator is to exercise authorities delegated by law. Such authorities must be exercisedin service of the public good. Using regulatory powers to forward self-interest is not appropriate. It is alsoexpected that professional regulators will avoid heavy-handedness. Again, it is perception that matters.
Basic Excellent
On the whole, the professional regulator is trusted by stakeholders to use regulatory powers judiciously.
The professional regulator is widely seen to use regulatory powers judiciously. This professional regulator is widely trusted not to abuse or take advantage of its regulatory powers for its own gain. Stakeholders are confident that the professional regulator would never be heavy-handed in its use of regulatory authority.
18. The professional regulator is perceived as treating all individuals with respect.
Professional regulators deal with individuals of all sorts, quite often in difficult or conflictual situations. It isexpected that professional regulators would deal with all individuals with patience and understanding withoutcrossing the line of impartiality. Again, perceptions are important.
Basic Excellent
Although the professional regulator endeavours to treat all individuals with respect, this is not necessarily a key aspect of the professional regulator’s image and reputation. There may be some stakeholders who do not perceive the professional regulator as treating all individuals with respect.
Whether member or non-member, complainant, member of the public, this professional regulator treats everyone with patience and respect. In addition, the professional regulator is widely seen to treat all individuals with respect.
19. The professional regulator is seen to act when any professionals under their oversight appear to misbehave.
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There are few things that will erode public confidence in the regulator more than the appearance that the regulator is reticent to act when it appears that a member of the profession may have misbehaved. Also damaging to the reputation of the regulator are cases where the regulator appears to have been ‘soft’ on one its members. This, of course, is challenging for professional regulators because these perceptions may be ill-founded. Nonetheless, this is an aspect that needs to be managed.
Basic Excellent
The professional regulator is seen to be vigilant and on the side of the public. The regulator is quick to manage situations that would give the appearance that the regulator was slow to act or was ‘soft’ on one of its members.
20. The professional regulator is committed to making it possible for persons with disabilities to be able to fullyparticipate in any regulatory process.
To be sure, providing accommodation to individuals with disabilities is to some extent a matter of compliancewith the law, but this still leaves a lot of room to do better. Individuals with cognitive and emotionaldisabilities who may be involved in regulatory proceedings may pose special challenges for professionalregulatory bodies.
Basic Excellent
The professional regulator offers accommodation but the approach is not quite systematic of proactive.
The professional regulator has considered accommodation from all perspectives: board member, staff, complainant, member, adjudicative panel member, or member of the general public. The professional regulator has considered the special challenges that cognitive and emotional disabilities pose to full participation in regulatory proceedings. The professional regulator has published its accommodation policy.
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21. The professional regulator has a written and published a privacy policy that is appropriate for a professionalregulator.
The public protection mandate makes privacy somewhat more complicated. Professional regulators mustbalance the professionals’ rights to privacy with the public’s right to know about the professionals whoseactions impact their lives. Professional regulatory bodies’ privacy policies must reflect the fact that thefundamental situation is one of balancing rights.
Basic Excellent
Although the professional regulator has a privacy policy, and that this policy is published, the policy is generic or cursory. Also, privacy complaints may not be treated with the seriousness that may be due.
The professional regulator has a written and published a privacy policy that is appropriate for a professional regulator. This policy addresses how the public protection mandate limits or trumps the professional’s right to privacy in some circumstances (e.g., the publication of disciplinary decisions).
22. The professional regulator ensures that all parties are aware and understand the respective roles of staffand volunteers.
The respective roles of staff and volunteers are often the subject of misunderstandings within professionalregulatory bodies and among the profession and the public. Professional regulators are different in thatvolunteers are involved not only in the governing council or board level but at the operational level as well.
Basic Excellent
Although generally, the professional regulator is clear about the respective roles of staff and volunteers, situations arise from time to time where the respective roles are unclear.
The professional regulator ensures that all parties are aware and understand the respective roles of staff and volunteers. The professional regulator ensures that volunteers, staff, and all others who may be involved in regulatory proceedings of the respective roles of volunteers and staff (viz., ‘where the line is’).
23. There is a strong commitment to the public protection mandate throughout the organization on the part ofall staff.
All staff must be committed to the public protection mandate. As with all organizations, it is important that allstaff are committed to fundamental mandate of the organization.
Basic Excellent
Generally, staff are committed to the public protection mandate. The level of commitment to the public protection mandate may be variable across the organization, however.
All staff throughout the organization understand the organization's public protection mandate and how their work supports the mandate.
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24. The professional regulator has a well worked-out short-term and medium-term operational plan as to howit will meet its public protection mandate.
This practice has to do with the linkage of the short-term and medium-term operational plans to the overallobjective of protecting the public from the risks which arise from the practice of the profession. Of course,there are many activities carried out by professional regulators which are required by statute. Nonetheless,there are many activities which support the public protection mandate which are not required by statute.
Basic Excellent
The short-term and medium-term operational plans are relatively basic. Although the activities cover the statutory requirements, they do not necessarily maximize the impact of the regulator.
The short-term and medium-term operational plans are not only meet all statutory requirements; they maximize the impact of the regulator in relation to its public protection mandate.
25. There exists a multi-year strategic plan for professional regulation.
The ultimate mandate of professional regulatory bodies is to protect the public by ensuring that professionalsregulated by the regulatory body are competent and act in an ethical manner—how best to deploy resourcesto fulfil this mandate is another matter. Professional regulators need to take the long view to their mandates.
Basic Excellent
The professional regulator has a multi-year strategic plan as to how it will execute its public protection mandate but the plan is vague or sketchy.
The professional regulator has a published multi-year strategic plan as to how it will execute its public protection mandate.
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26. The organizational performance measurement system is adapted to the context of professional regulationand supports the professional regulator’s public protection mandate.
The essential mandate of professional regulators is to protect the public interest by ensuring thatprofessionals registered with, and certified by, the professional regulator are competent and act in an ethicalmanner. Translating this essential mandate into specific metrics is challenging. Measuring performance as aprofessional regulator is not simple or straightforward. Many of the metrics used by ‘for profit’ companies,even metrics used by ‘not-for-profit’ organizations, are not quite appropriate for professional regulatorybodies. Whatever organizational performance metrics are used, however, they should be true to the essentialmandate of protecting the public interest.
Basic Excellent
Measurement focuses on activities rather than outcomes. The measurement system may focus on aspects that are easier to quantify and measure rather than on the more meaningful metrics that may be more difficult to measure. Measurement may be based on measures that would be more appropriate for non-regulatory endeavours.
Measurement focuses on outcomes appropriate to professional regulation—the amount of reduction or mitigation of risks posed by the practice of the profession.
27. The professional regulator’s annual report gives an account of the regulator’s achievements in regards to itspublic protection mandate.
Annual reports are an opportunity for professional regulators to explain to all stakeholders what they havedone in the last year and how this has contributed to protecting the public from the risks stemming from thepractice of the profession.
Basic Excellent
The organization’s annual report reports on activities but not on outcomes related to the organization’s public protection mandate.
The professional regulator’s annual report gives a clear and coherent account of the regulator’s achievements in regards to its public protection mandate.
28. Financial planning ensures adequate resources available to support ongoing regulatory activities.
Public protection mandates notwithstanding, it is important that professional regulators be financially strongand fiscally conservative.
Basic Excellent
The professional regulator is cautious in its financial projections. The professional regulator engages only in short-term financial planning.
The professional regulator takes great care to develop accurate projections and has set aside sufficient funds to deal with possible expenditures.
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29. The professional regulator ensures that staff have the specialized skills required to support regulatoryactivities.
Professional regulation has become increasingly specialized. Although professional regulators require some ofthe same skills as any other enterprise, professional regulators require some specialized skills (e.g.,administrative law, psychometrics, statutory interpretation, regulatory processes). Professional regulatorsmust ensure that staff have these specialized skills.
Basic Excellent
Although the professional regulator has not explicitly mapped out the specialized knowledge and skills required to deliver on the public protection mandate, the organization does not appear to have any significant gaps or weaknesses in the skills of staff.
The professional regulator has explicitly mapped out the specialized knowledge and skills required to deliver on the public protection mandate and is systematic in ensuring that such specialized knowledge and skills are available to the organization.
30. The professional regulator has a strong record keeping and records management capability.
A core competency of professional regulators is to keep track of information. Information managementtechnology keeps changing what is possible. Professional regulators need to keep on top of developments ininformation management technology.
Basic Excellent
The professional regulator has an average record keeping and records management capability.
The professional regulator has leveraged technology to develop excellent record keeping and record management capabilities. There are established protocols to handle sensitive information--only those who have a legitimate reason to access certain sensitive information will have the permissions to access such information. The professional regulator has well-established protocols for the storage and destruction of documents.
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31. The professional regulator has a balanced approach between proactive and reactive approaches toregulation.
From the perspective of a professional regulator, the best problem is one that never happens. (Professionalregulation is similar to healthcare in this respect.) This is easier said than done because immediate issues callfor immediate attention. Professional regulators must look beyond the immediate problems and set asideresources to preventing issues before they happen. On the other hand, measuring the value of problems thatnever happened may be challenging.
Basic Excellent
To be sure, the professional regulator engages in a mix of both proactive and reactive regulatory activities, but overall the approach is mostly reactive. Typically, professional regulator deals with problems once they arise.
The professional regulator’s agenda includes programs and initiatives that are aimed at reducing the risks of harm to the public from the practice of the profession.
32. From time to time, the professional regulator will engage external experts to audit various aspects of itsregulatory activities.
There is really no substitute for independent external review of regulatory activities—it is difficult forprofessional regulators to be completely objective when it comes to their own activities and performance.External consultants provide an independent external perspective to such reviews.
Basic Excellent
The professional regulator will review various aspects of its regulatory activities from time to time, but such reviews are conducted internally. The professional regulator would typically not engage external experts to audit various aspects of its regulatory activities except where required by law.
From time to time, the professional regulator will engage external experts to audit various aspects of its regulatory activities. Although it is not the case that consultants are always right, the professional regulator will give serious consideration to the recommendations of such external experts.
33. The professional regulator is genuinely committed to continuous improvement as a professional regulator.
Of course, no organization would say that they are not committed to continuous improvement; at issue here istaking action on the commitment to continuous improvement as a professional regulator.
Basic Excellent
There are projects to improve processes here and there but it would be a stretch to say that there is a genuine commitment to continuous improvement. The approach to improvement can be more reactive than proactive.
There is a systematic continuous improvement process in place. There is an assessment of where improvement would have the most impact and specific improvement targets are set. The approach to improvement tends to be more proactive than reactive.
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34. All regulatory processes and procedures are thoroughly documented and this documentation is readilyaccessible to all interested parties.
There are a few aspects here. One is the completeness of the documentation; the other is the accessibility ofthe documentation.
Basic Excellent
Most processes and procedures are documented but there may be gaps here and there. Some documents may be difficult to find.
All processes and procedures are documented in a complete and accessible manner. The information is easy to find.
35. The organization’s website clearly supports the public protection mandate.
Increasingly, the organization’s website is the main or even the only point of contact between the public andthe professional regulator. It is important that the website support the organization’s public protectionmandate by assisting members of the public in finding the information that is useful to them.
Basic Excellent
The website does put forward the organization’s public protection mandate but some of the information may be hard to find.
The organization’s website clearly puts forward the organization’s public protection mandate and makes it clear to the public that the organization’s mandate is to protect the public interest. The website makes information about the organization’s regulatory activities easy to find even by occasional users.
36. Members of adjudicative committees are given specific guidance as to what is appropriate behaviour as anadjudicator.
As part of the orientation and training, members of adjudicative committees should be given specific guidanceas to what is appropriate behaviour as an adjudicator especially in matters of confidentiality, conflict ofinterest, independence, impartiality, and interactions with other panel members, parties to the proceeding orstaff.
Basic Excellent
Members of adjudicative committees are provided with some guidance as to what is inappropriate behaviour as an adjudicator but they are not required to formally sign off on any specific code of conduct relating to their role as adjudicator.
All volunteers must sign off on a code of conduct which clearly spells out what is or is not appropriate behaviour as an adjudicator.
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37. The regulatory body has a public relations strategy to reach out to the public and build awareness of, andconfidence in, the regulator’s regulatory role.
Professional regulators need to get their message out—“we protect and promote the public interest in all ofour regulatory activities.” Professional regulators need to be prepared to articulate and defend why what theydo best serves the public interest. Many professional regulators go beyond ‘stakeholder communication’ to‘stakeholder involvement’ strategies. The idea is not to ‘tell’ something to stakeholders but to listen as well.Some professional regulators run focus groups with different stakeholder groups as part of the regulatorypolicy development process.
Basic Excellent
The professional regulator is aware that public confidence is important, but has not developed a coherent strategy to that effect, or if a strategy has been developed, it has not been fully implemented for one reason or another.
The professional regulator recognizes that public confidence is essential to its ability to meet its mandate. The regulatory body has a public relations or public engagement strategy to reach out to the public and build awareness of, and confidence in, the regulator’s regulatory role. The professional regulator actively monitors the level of confidence the public has in the profession and its regulatory body.
38. The professional regulator encourages stakeholder involvement in the activities of the professionalregulator.
There are different levels of stakeholder involvement for professional regulatory bodies. A first level is toactively seek out the opinion of various stakeholder groups on issues relevant to regulation. A second level isto systematically involve stakeholder groups in policy formulation.
Basic Excellent
The professional regulator will involve stakeholders in regulatory activities on occasion (e.g., the occasional focus group or survey), but this is not common practice.
The professional regulator conducts public events such as conferences that invite participation and discussion of regulatory matters by various stakeholders (professionals, various segments of the public, other professional regulatory bodies.
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39. The professional regulator keeps abreast of new developments in the field of professional regulation.
Professional regulation is a field that is always changing. It is important that professional regulators keepabreast of new developments in the field. This requires a systematic approach to data gathering andenvironmental scanning.
Basic Excellent
The professional regulator does keep its eyes open for new developments in the field of professional regulation but hasn’t quite adopted a systematic approach to information gathering and environmental scanning.
The professional regulator has a systematic approach to information gathering and environmental scanning. In addition, the professional regulator has a knowledge management process whereby such information.
40. The professional regulator participates actively in the professional regulatory community.
Participation in the professional regulatory community supports the public protection mandate through theexchange of information and ideas and in moving forward the practice of professional regulation.Professional regulators need to be active members of the professional regulatory community. Thereis no manual that outlines a simple approach to becoming a well-respected professional regulator.Many of the norms and expectations are unwritten.
Basic Excellent
The professional regulator’s participation in the professional regulatory community is inconsistent or limited to a few interested individuals. The professional regulator will participate in the professional regulatory community from time to time. However, it cannot be said that the professional regulator has taken an active or leadership role in the professional regulation community.
The professional regulator has a strong participation in the professional regulatory community. The professional regulator encourages all volunteers and staff to participate in the professional regulatory community. The professional regulator encourages volunteers and staff to participate in the professional regulatory community. The professional regulator is an active supporter of events in the professional regulatory community. The professional regulator demonstrates leadership within the professional regulatory community by taking the lead on some issue. The professional regulator will openly share with other regulatory bodies.
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41. The professional regulator is quick to adapt and implement best practices of other regulatory bodies.
Diffusion of Innovations is a theory that seeks to explain how, why, and at what rate new ideas and technologyspread through cultures. Everett Rogers, a professor of rural sociology, popularized the theory in his 1962book Diffusion of Innovations. It is this theory which introduced the terms ‘innovators,’ ‘early adopters,’ ‘earlymajority,’ ‘late majority,’ and ‘laggards.’ Although professional regulators must take a careful and consideredapproach to fulfilling their public protection mandate, it does not mean that they shouldn’t be agile inimplementing best practices or even innovating in the area of professional regulation.
Basic Excellent
To use the terminology developed by Everett M. Rogers in his book Diffusion of Innovations, this professional regulator would be considered either an early or late majority. The professional regulator is not known to be at the forefront of professional regulatory practice.
To use the terminology developed by Everett M. Rogers in his book Diffusion of Innovations, this professional regulator would be considered an early adopter, or perhaps even an innovator.
42. The professional regulator works constructively with all governmental agencies that are responsible forensuring its compliance with legislation to which the professional regulator is subject.
Professional regulators are often themselves subject to regulation (‘regulating the regulators’). Ostensibly,such legislation is also guided by the public interest; in practice, working with regulatory and governmentagencies can be challenging. Excellence means building and maintaining constructive relations with suchregulatory and government agencies.
Basic Excellent
The professional regulator complies with all legislation to which the professional regulator is subject, but the organization's approach is very much compliance-driven and focuses on doing the least possible that will meet legislated requirements.
Beyond grudging compliance, the professional regulator aims to work constructively with all governmental agencies. The professional regulator does not approach legislated requirements with a ‘compliance mindset’ but with a ‘partnering’ mindset.
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43. Regulatory policy development is proactive.
Policy development can be seen to be on a continuum. At one end of the continuum, policy development isreactive—problems arise and the professional regulator must react to the problem. At the other end of thecontinuum, policy development is proactive—policy development anticipates issues that may arise.
Basic Excellent
Although the professional regulator does attempt to keep on top of emerging issues, its approach to policy development is not quite disciplined or systematic.
Although there are events that will cause the professional regulator to develop policy ‘on the fly;’ most policy development activities are not as a result of problems or issues that may have arisen. The professional regulator has a policy agenda that was developed to address issues before problems arise.
44. Regulatory policy development process systematically seeks out the input and participation of allstakeholder groups.
The idea here is that regulatory policy development should include all parties which may be impacted by thepolicy. The input should be systematic and meaningful.
Basic Excellent
From time to time, members of stakeholder groups may be consulted as part of the policy development process, but this may not be done quite consistently.
Regulatory policy development is open rather than closed. There is a concerted effort to get the perspective and concerns of all stakeholder groups before formulating policy. The professional regulator will reach out to various stakeholder groups and actively engages them in the policy development process.
45. Regulatory policy development reflects the complexity of many regulatory issues and includes the opinionsof experts.
Some regulatory matters can be quite complex. Policy should follow from a thorough analysis of the issuesand the policy options. Sometimes, this kind of thorough analysis of the issues and policy options will requirethe input of experts.
Basic Excellent
On occasion, the professional regulator has reached out to experts in various issues on developing its own policies.
The professional regulator recognizes that internal resources are not always sufficient to get a full understanding of some issues. The professional regulator will willingly reach out to experts on various issues in developing its own policies.
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46. Policy development process is thorough and evidence-based.
Opinions are not a substitute for data. At times, it will be necessary to collect data in order to guide policydevelopment. The professional regulator should have a preference for data and should strive to make allpolicy development evidence-based.
Basic Excellent
The policy development process will at times involve the collection of data, but this will be most often limited to what some other professional regulators may be doing.
The professional regulator is characteristically thorough in its approach to policy development. Issues are always researched and all available data is considered. When existing data is insufficient, the professional regulator will collect its own data. Policy briefs are detailed and based on evidence.
47. There is a legal review of all key regulatory policies.
Some aspects of professional regulation are quite technical and involve sometimes complex legal concepts.Therefore, it is important that there is a legal review of all key regulatory policies.
Basic Excellent
Although there is a legal review of key regulatory policies, the professional regulator is not as proactive as it could be in regards to developments in administrative law and recent decisions by the courts. Often, legal review is pursuant to problems or challenges that may have arisen.
There is a legal review of all key regulatory policies. The professional regulator is continuously reviewing its policies in light of developments in administrative law and recent decisions by the courts.
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48. Protecting the public interest is the key concern that drives the development, establishment, maintenance,and enforcement of standards.
At the core of regulatory activity are standards—standards of qualification, standards of practice, standards ofprofessional ethics, standards of knowledge, skill, and proficiency—and the activities that revolve around thedevelopment, establishment, maintenance, and enforcement of these standards. Given that the coremandate of any professional regulator is to protect the public, it follows that any standard developed,established, maintained, and enforced by the professional regulator would have a demonstrated linkage tothe protection of the public.
Basic Excellent
Although protection of the public interest is considered in setting regulatory standards, the manner in which protection of the public interest was considered is not always systematic. The linkage of any regulatory standard to the protection of the public interest is not always made explicit.
Protection of the public interest is always considered in a systematic and meaningful way in setting any standard-- standards of qualification, standards of practice, standards of professional ethics, and/or standards of knowledge, skill, and proficiency. The linkage of any regulatory standard to the protection of the public interest is made explicit and documented.
49. To the extent that enabling legislation permits, the professional regulator implements effective qualityassurance programs.
It is not enough to ensure that only qualified candidates are admitted to the profession, to implementmeasures to ensure continuing competence and to provide guidance as to what is and is not appropriateconduct, professional regulators need to ensure that these processes are actually working. Professionalregulators must assess the effectiveness of various regulatory programs and initiatives. Effective monitoringof professional practice is a start. Quality assurance programs are designed to promote the good professionalpractice and identify problems and gaps not currently addressed by the professional regulator. Qualityassurance programs can also be used to assess the effectiveness of current regulatory programs and initiativesand to point to improvements that could be made to such programs and initiatives.
Basic Excellent
The professional regulator has implemented basic quality assurance programs (e.g., a professional inspection program for randomly selected members).
The professional regulator conducts professional inspections and other quality assurance initiatives. The quality assurance program is sophisticated and based on identified risks or high-risk sub-populations.
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50. The professional regulator monitors all aspects where the performance of professionals may fall short of theexpectations of the public for possible intervention.
Beyond quality assurance programs, professional regulators must be aware of all significant risks to the publicposed by the practice of the profession. As part of a risk-based approach, these risks must be identified,quantified, and monitored.
Basic Excellent
The professional regulator does keep track of where the performance of professionals may fall short of the expectations of the public, but the approach is basic.
The professional regulator collects a variety of data to identify those areas of enhanced risk to the public. The enhanced risks may be related to the nature of the practice of the professionals of some sub-population of professionals (e.g., recently registered of certified professionals).
51. The professional regulator has a systematic process for identifying where there may be a need to issueguidance to professionals.
The term ‘guidance development process’ can be used to refer to the process by means of which professionalguidance is developed, promulgated, and enforced. The first step is to identify where professional guidancemay be needed or most beneficial. This will likely involve the conduct of research into the issues and themaking a decision as to whether guidance is needed. This process of identifying where professional guidancemay be needed or most beneficial may be proactive or reactive. Although things do come up and require aresponse, a more proactive approach is desirable.
Basic Excellent
The process by which it is decided where guidance may be needed or beneficial is reactive and haphazard. It is often driven by issues that have come up.
The process by which it is decided where guidance may be needed or beneficial is, for the most part, planned and proactive. The decision as to whether professional guidance is heeded or desirable is made using a systematic process.
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52. Professional guidance is developed in a careful, disciplined, and systematic manner.
In developing professional guidance, professional regulators need to develop a deep understanding of theissue at hand and the implications of various options. Important here is the impact that any given guidancewill have on various stakeholders. It is important to consider the multiple perspectives of differentstakeholder groups in developing any guidance to members of the profession. Professional regulators shouldbe careful and systematic in developing professional guidance.
Basic Excellent
The professional guidance development process might not be as careful and systematic as it could be. The stakeholder consultation process may be given short shrift. The implications of a particular guidance statement are not always thoroughly and systematically explored.
The professional regulator has a careful, disciplined and systematic approach to the development of professional guidance. The stakeholder consultation process is characteristically thorough and exhaustive.
53. The professional regulator provides effective guidance to members as to what constitutes appropriate andinappropriate professional conduct.
Providing effective guidance to members as to what constitutes appropriate and inappropriate professionalconduct is one of the core aspects of regulatory activity. It is not only the guidance which is important but thedissemination of this guidance. Not only should the members be aware of such guidance but also understandthe implications for their practice. Professional regulators should concern themselves with the extent towhich professional guidance is considered and adhered to.
Basic Excellent
Although the professional regulator has developed specific guidance for members, there is only a moderate effort to get all members to read and understand the rules of professional conduct and other guidance provided by the professional regulator; as a result awareness of and compliance with the governance as to what constitutes appropriate and inappropriate professional conduct may not be all that it should be.
The professional regulator’s efforts in this area go well beyond publishing a code of ethics or rules of professional conduct; it ensures that members are aware, understand, and abide by such codes and rules.
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54. The professional regulator provides guidance to members in a timely manner.
Basic guidance on professional practice was referred to in the previous practice element. This practiceelement deals with new and emerging practice issues. Professional regulators should identify areas whereguidance may be needed before members start experiencing problems.
Basic Excellent
The professional regulator identifies where additional guidance may be needed but only after an issue has been around for a while and many members have been struggling with the issue.
The professional regulator identifies where additional guidance may be needed early on. Guidance to members is timely and up-to-date. Guidance assists members with current professional challenges. This guidance is accessible and frequently consulted by members.
55. The professional regulator is effective in communicating standards or guidelines to professionals and on theobligations that come from being self-regulating professionals.
The professionalism of professionals is probably the most important factor in protecting the public.Communicating professional standards and guidelines should not be a one-time thing. Professionals should becontinually engaged by their professional regulator to engage in reflection about their practice asprofessionals.
Basic Excellent
The professional regulator does have programs or initiatives aimed specifically at increasing the level of professionalism among the professionals it regulates, but these programs are superficial or done only once in a member’s career.
The professional regulator recognizes that the professionalism of its members is the most important factor in protecting the public. The professional regulator continuously engages the professionals it regulates in discussions about what constitutes ethical practice.
56. Professional guidance goes beyond minimum standards of competence and conduct.
By their very nature, standards will tend to focus on minimum standards of competence and conduct;however, professional regulators will want to go beyond such minimum standards and encourage excellencein professional competence and conduct.
Basic Excellent
The professional regulator focuses mainly on minimum standards of competence and conduct.
In addition to setting minimum standards of competence and conduct, the professional regulator also finds ways of encouraging excellence in professional competence and conduct.
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57. Once promulgated, the professional regulator follows-up to assess whether specific professional guidance ishaving the intended impact.
Professional guidance is not worth much if professionals do not put it into practice. Professional regulatorsneed to follow up on the promulgation of professional guidance to assess whether the guidance is having itsintended impact.
Basic Excellent
There may be on-going tracking of the some of the issues but the follow-up is not that thorough. Alternately, there may be some assessment of compliance but not of the impact of such compliance.
The impact of the professional guidance is assessed systematically and documented in an evidence-based manner. Issues with compliance are identified and documented.
58. The professional regulator uses a variety of means to promote competent and ethical conduct by regulatedprofessionals.
Professional guidance goes beyond the development, establishment, maintenance, and enforcement ofstandards. Whitepapers, articles, webinars, workshops, conferences, research reports, and online apps are alldifferent means of promoting competent and ethical conduct by regulated professionals. Excellent practiceas a professional regulator suggests the use of a variety of means to promote competent and ethical conductby regulated professionals.
Basic Excellent
Professional guidance tends to stick with traditional means of promoting competent and ethical conduct by regulated professionals.
The professional regulator will use multiple means to create awareness of issues and to promote competent and ethical conduct by regulated professionals. The professional regulator will step outside the ordinary to get the message across.
59. The professional regulator has programs to communicate to the public at large as to what are the standardsof the profession.
Members of the public are often unclear about what standard of competence or conduct they are entitled toexpect from professionals. Professional regulators must be proactive in ensuring that the public understandswhat they are entitled to expect from the professionals they regulate.
Basic Excellent
The professional regulator does reach out to the public at large to explain what the standards of the profession are and what they may expect of professionals it regulates, but those programs or initiatives are superficial or limited in scope.
The professional regulator considers codes of ethics and rules of professional conduct as commitments to the public. The professional regulator takes every opportunity to explain to the public and to those who hire or engage professionals what may be expected of such professionals.
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60. The standards of professional conduct are written in such a way as to be understandable by the public.
Standards of professional conduct are written for three key audiences. First, they provide guidance toprofessionals as to what and what is not appropriate conduct; second, they communicate to the public whatstandard of conduct they can expect from the professionals whose practice impacts their lives; and third, theyare used by regulatory committees to determine whether a professional’s conduct has fallen short of thestandards of the profession. The public is an important audience for such standards. Because the public
Basic Excellent
The standards of professional conduct are published and understandable by members of the general public although they may be difficult to find on the organization’s website.
The standards and guidance are published in accessible formats. Registrants, potential registrants, employers, patients, service users and members of the public are able to find the standards and guidance published by the Regulatory Body and can find out about the action that can be taken if the standards and guidance are not followed.
61. The professional regulator has developed a coherent standard in regards to the education and trainingrequired for registration or certification.
Working backwards from the competencies required for safe and effective practice, and with a comprehensiveand articulated understanding of the process by which individuals acquire competence as a professional, theprofessional regulator has established standards in regards to the education and training. The differencebetween basic and excellent levels of performance in regards to this practice related to the sophistication ofthe educational standard and the extent to which it is linked to safe and effective practice as a professional.
Basic Excellent
The professional regulator does specify a required program of study but the links to professional competence may be loose or fuzzy. For instance, programs of study may be specified in terms of topics rather than in terms of the competencies to be acquired.
The standards of education and training established by the professional regulator are sophisticated and articulated. These standards evidence a sophisticated understanding of the process by which individuals acquire professional competence. The standards of education and training are constructed such that there is a high degree of confidence that individuals who successfully complete the program of study are indeed competent.
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62. The professional regulator has put in place quality assurance processes for educational and trainingprogrammes which ensure that educational and training programmes meet and continue to meetestablished standards.
Professional regulators must consider the quality of the educational programmes which are required forcertification. Such standards must be developed with the participation of the educational institutions.
Basic Excellent
The professional regulator does have guidelines for educational programmes to follow, but the requirements are sometimes basic and the approval process is not quite in depth. Also, once accredited, the monitoring of continued adherence to standards may be superficial or missing altogether.
The professional regulator has a comprehensive approach for the approval of educational programmes which are required for certification. The approval process considers all aspects of the educational programme and is designed to ensure that students acquire foundational knowledge and skills. The professional regulator will consider data such as success rates for students of various programs to identify those programs where there may be issues.
63. Educational and training standards go beyond simply the technical competencies to include all aspects ofcompetence required for safe and effective practice including professionalism and professional ethics.
The professionalism of professionals is often the most important factor in protecting the public from variousrisks stemming from the practice of the profession. Professional regulators must ensure that the educationand training of professionals also develop the mindsets, attitudes, and values which are conducive to theeffective and safe practice of the profession.
Basic Excellent
Aspects such as professionalism and ethics tend to be given short shrift in the education and training of professionals. These aspects are treated superficially.
Aspects such as professionalism and ethics are given serious attention in the education and training of professionals. All candidates for registration with or certification by the professional regulator will, as a requirement of registration and/or certification, have a solid grounding in matters of professionalism and ethics.
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64. The professional regulator works cooperatively with educational institutions to ensure that the curriculumadequately prepares students for careers as professionals.
In the end, producing competent and ethical professionals is a cooperative venture between the professionalregulator, educational institutions, and sometimes employers. Educational institutions have their ownmandates and challenges, working with educational institutions singly and as a group to ensure that thecurriculum adequately prepares students for careers as professionals can be challenging. Professionalregulators need to work cooperatively with academic institutions to make the transition from student toapplicant, to professional a smooth one.
Basic Excellent
The professional regulator has a cordial relationship with educational institutions but one that is not particularly effective. The educational institutions and the professional regulator could be described as ‘two solitudes.’
The professional regulator takes a leadership role in working cooperatively with educational institutions. Educational institutions look to the professional regulator for leadership as to the appropriate curriculum for future professionals.
65. Information as to the accreditation standards relating to education and training and as to the accreditationstatus of specific programs is publically available.
Information as to the accreditation standards relating to education and training and as to the accreditationstatus of specific programs should be publically available. Making such standards and the accreditation statusof specific programs public increases the trust and confidence of all stakeholders in the standards and theaccreditation process.
Basic Excellent
Information as to the accreditation standards relating to education and training and as to the accreditation status of specific programs either does not exist or is not readily available or is out of data.
Information as to the accreditation standards relating to education and training and as to the accreditation status of specific programs is publically available and presented in a way that is useful to all stakeholders.
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66. In some way or another, the professional regulator ensures that professionals get feedback on their practiceas professionals.
There are different approaches here. Some professional regulators will conduct practice inspections, otherswill have peer review processes, and still, others will have self-assessment tools. What is important is thatregistered professionals get effective feedback on their practice as professionals—effective here meaningaccurate and actionable.
Basic Excellent
The professional regulator does little to ensure that professionals get feedback on their practice as professionals, or those processes that are in place are superficial or ineffective.
The professional regulator ensures that registered professionals get effective feedback on their practice as professionals. These feedback processes are designed to minimize issues of defensiveness or the tendency to be overly positive. The effectiveness of these feedback mechanisms is monitored on an ongoing basis.
67. The professional regulator has policies, procedures, and programs in place to ensure that certified membersmaintain their competence over time.
Ensuring competence at the time of registration or certification is one thing; ensuring the continuingcompetence of individuals registered or certified by the professional regulator is another. There are differentapproaches to continued competence. If the purpose of recertification is to measure the continuedcompetence of certificants, then the certification program must substantiate the validity and reliability of theassessment instruments used to measure continued competence. If the purpose is to enhance continuedcompetence of certificants, then the certification program must demonstrate how the policy contributes toprofessional development of the individual certificants.
Basic Excellent
The professional regulator does have a recertification or continuing professional development program; however, the program may not be that effective in ensuring continued competence.
The professional regulator has a well thought out approach to continuing competence. The professional regulator’s approach to continuing competence is effective in ensuring that the professional practice of members continues to meet the standards set for the practice of the profession. There are mechanisms in place to monitor members’ compliance with any recertification or continuing professional development requirements.
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68. The continuing professional development process is linked to identified risks related to the practice of theprofession.
The differentiator between basic and excellent continuing professional development process is the extent towhich they are effective in ensuring continued professional competence. More effective continuingprofessional development processes are linked to identified risks related to the practice of the profession.
Basic Excellent
There is a continuing professional development process but the process is not necessarily focused on those aspects that create the most risk for the public and users of professional services. The effectiveness of the continuing professional development process is largely unknown.
The continuing professional development process is focused on those aspects that create the most risk for the public and users of professional services. The effectiveness of the continuing professional development process is monitored and reviewed periodically.
69. Registration and certification processes are demonstrably transparent, objective, impartial and fair.
In some jurisdictions, professional regulators are required by law to demonstrate that their registration andcertification processes are transparent, objective, impartial and fair. Professional regulators must ensure thatonly qualified candidates are allowed into the profession; however, the registration and certification processesmust not present unnecessary barriers to registration and certification. It is not enough to intend thatregistration and certification processes be transparent, objective, impartial and fair, they must bedemonstrably so, which involves research, review, and analysis of registration and certification processes.
Basic Excellent
The professional regulator has reviewed and continues to review on a regular basis, every aspect of its registration and certification processes to ensure that there are no unnecessary barriers to the registration of certification by internationally educated professionals. However, the reports which have been published are somewhat superficial.
The professional regulator has made a strong public commitment to transparent, objective, impartial and fair registration and certification practices. The professional regulator has reviewed and continues to review on a regular basis, every aspect of its registration and certification processes to ensure that there are no unnecessary barriers to the registration of certification by internationally educated professionals. The reports on such reviews are published and are easily accessible by any interested party.
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70. Certification requirements are supported by an up-to-date practice analysis study.
There are two aspects here: (1) that certification requirements need to be grounded in a formal practiceanalysis, and (2) that such practice analysis needs to be current. The outcome of the practice analysis is adetailed description of what professionals do (task elements) and competencies (knowledge, skills, abilities,and other characteristics). Professional practice is constantly evolving—it is important that the practiceanalysis reflect more recent developments in the profession.
Basic Excellent
Although the practice analysis meets all minimum technical standards, it doesn’t go beyond these minimum technical standards. For instance, the practice analysis may not include meaningful input from all stakeholder groups.
The core practice analysis is thorough and updated regularly. The practice analysis identifies all risks posed by the practice of the profession and identifies those practices that reduce or mitigate those risks. The practice analysis includes meaningful input from all stakeholder groups.
71. All certification requirements are objectively related to the capacity to deliver professional services at alevel that ensures safe and effective practice.
Technically, this practice element refers to the validity of certification requirements. All certificationrequirements should have an explicit validity argument. The validity argument for any given certificationrequirement refers to the rationale and evidence that supports the requirement. There are two aspects to thevalidity of any certification requirement: (1) the relevance of the requirement and (2) the appropriateness ofthe standard established for any requirement. Validity arguments will usually rely on multiple strands ofevidence. Also important is the documentation of the validity arguments and the rationale and evidence thatsupports the requirement and the standard set for any requirement. This would include the technicaldocumentation and reports for any certification or licensure examination.
Basic Excellent
Although all certification requirements are (1) rationally connected to performance as a professional, (2) established in good faith, and (3) reasonably necessary for performance as a professional at the established standard of competence, the empirical support for some certification requirements may be missing. The rationale for all requirements may not be set out clearly or published.
All certification requirements are objectively linked to the capacity to deliver professional services at a level that ensures safe and effective practice. All assessments and standards are based on data. All standards and cut-scores are established using professionally acceptable methodologies. The rationale for all requirements is clearly set out and published.
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72. The professional regulator has put in place a certification process which is thorough and rigorous.
At the end of the day, candidates who are certified should be competent and ethical, however, that may bedefined for any profession. Professional regulators should ensure that all aspects or components are dulyevaluated. This practice element works hand-in-hand with the previous element. Whereas practice element#43 is about the validity of requirements as they are, this practice element is about what may be missing ornot given due attention.
Basic Excellent
The certification process is systematic and well thought out; however, some of the aspects of performance as a professional are not assessed as thoroughly as others.
The certification process is systematic and well thought out. All aspects of performance as a professional are assessed in one way or another. The certification process covers both competence and ethics. There is a clear perception on the part of all stakeholders that the certification process does not allow unqualified or poorly qualified candidates to be certified.
73. There is a documented process and procedure established to verify that applicants meet the establishedrequirements for any category of registration.
Registration processes must be transparent. One aspect of this transparency is that all processes andprocedures to verify that applicants meet the established requirements for any category of registration mustbe documented, published, and accessible.
Basic Excellent
The requirements for the different categories of registration are documented, and the documentation required is spelled out, but the information is not always clear.
The requirements for the different categories of registration are well documented. All applicants are required to supply documentation to support any category of registration applied for. All documentation is reviewed for accuracy.
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74. Processes are in place to ensure that only individuals who have integrity, candour, honesty, trustworthiness,moral and ethical standards are admitted to the profession.
Ensuring competence is not enough to fully address the public protection mandate. There are individuals whoare competent to practice who, nonetheless, should not be allowed to be registered, or perhaps should onlybe registered under certain terms and conditions.
Basic Excellent
Although the professional regulator does have a systematic process for ensuring that only individuals who have integrity, candour, honesty, trustworthiness, moral and ethical standards are admitted to the profession, the process is weak and vulnerable.
The professional regulator has a systematic process for ensuring that only individuals who have integrity, candour, honesty, trustworthiness, moral and ethical standards are admitted to the profession.
75. The regulatory body informs all applicants of any rights the applicants may have to request a further reviewof, or appeal from, the registration or certification decisions.
Professional regulators must be up-front about any rights the applicants may have to request a further reviewof, or appeal from, the registration or certification decisions.
Basic Excellent
Although the professional regulator does have internal review or appeal mechanisms, and applicants are informed of their existence, the grounds for appeal and the appeals process is not clearly explained.
The professional regulator is up-front with applicants regarding any rights to request a further review of, or appeal from, the registration decisions. This includes both internal reviews or appeals and external appeals.
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76. Upon initial registration, all registrants are informed of the terms and conditions of membership and mustindicate their agreement in writing to such terms and conditions.
In exchange for the privileges of membership in a regulated profession, members assume importantobligations. It is important that such professional obligations be left implicit, or that the assumption be madethat members have understood their obligations as professionals. Professional regulators should ensure thatmembers not only sign-off on those obligations but that members also fully understand what it is that they areagreeing to.
Basic Excellent
Applicants for membership and renewing members must indicate their agreement in writing to the terms and conditions of membership. Nonetheless, there is no robust mechanism in place to ensure that applicants for membership, and renewing members, fully understand these terms and conditions.
The professional regulator goes through great care to ensure that applicants for membership and renewing members are fully aware and understand the terms and conditions of membership. The professional regulator does not rely only on a sign-off as insurance that an applicant for membership or renewing member fully understands the obligations that follow from membership.
77. The professional regulator acts to protect the designation(s) from misuse.
In licensed professions, practising without a license is a serious offence; even with voluntary designations,unauthorized use of the designation is a breach of the public trust. It is important for professional regulatoryto protect their designations from misuse.
Basic Excellent
The professional regulator does state that it will act when an individual is suspected of using the designation(s) without authorization; nonetheless, enforcement is low-key and reactive.
There is a documented process and procedure for dealing with individuals who use the designation(s) without authorization. Risk of harm to the public and of damage to public confidence in the profession related to non-registrants using a protected title or undertaking a protected act is managed in a proportionate and risk-based manner. The professional regulator takes some proactive steps to ensure that individuals who are no longer authorized to use a designation stop using the designation. The professional regulator actively monitors the use of the designation where abuse is most likely to happen.
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78. Any mutual recognition agreements with regulators in other jurisdictions must ensure the public protection.
Mutual recognition is often a matter which is subject to legislation—but there is more to it than simplecompliance with legislation. Professional regulators need to understand the mobility drivers and patterns ofprofessionals in their profession. The risks to the public posed by professional mobility must be understoodand addressed within the boundaries of what is possible under applicable legislation.
Basic Excellent
The professional regulator has established mutual recognition agreements with its counterparts in other Canadian jurisdictions.
The professional regulator has established mutual recognition agreements with regulators in other jurisdictions which (1) protect the public interest and (2) meet the legislated requirements for mutualrecognition. The professional regulator has takenthe establishment of mutual recognition agreementsas an opportunity to work out related aspects ofcollaboration.
79. The professional regulator has well worked-out policies and procedures for dealing with internationally-educated applicants.
Such policies and procedures aim to remove any unnecessary barrier to registration with or certification bythe regulator while ensuring that the standards of qualification are equivalent. Ensuring that standards ofqualification are equivalent across countries is not always an easy or straightforward task.
Basic Excellent
Professional regulators at the basic level may have policies and procedure for dealing with internationally-educated professionals, but these policies and procedures may still have gaps or aspects that have no evidence base.
Professional regulators at the excellent level have sophisticated and well-worked out policies and procedure for dealing with internationally-educated professionals.
80. The public register is published on the website and easy to find even for occasional visitors to the website.
The key aspect is accessibility. The main purpose of the public register is to make information aboutregistered professionals accessible to the public.
Basic Excellent
The public register is available online but may not be easily accessible to members of the general public.
The professional regulator recognizes that its public register is an important point of contact between the public and the professional regulator and makes the public register easily accessible to all including occasional visitor to the website.
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81. The public register contains all the information the public needs to know about a professional Again, thecontents of the public register must be guided by the public protection mandate.
Basic Excellent
The public register is very basic and may not contain all the information that may be helpful to the general public to know.
Through the Regulator’s’ registers, everyone can easily access information about registrants, except in relation to their health, including whether there are restrictions on their practice.
82. The professional regulator encourages the use of its public register by the public.
The public register contains information that the professional regulator deems important for the public tohave access to. A public register is not that useful if: (1) the public doesn’t know it exists or (2) the publicdoesn’t know how to use the public register.
Basic Excellent
The professional regulator recognizes that the public register is an important resource for members of the public and places the public register in a place that is easily accessible to members of the public.
Employers are aware of the importance of checking a health professional’s and social worker’s registration. Patients, service users and members of the public can find and check a health professional’s and social worker’s registration.
83. The professional regulator educates the public as to when it is appropriate to file a complaint against aprofessional.
This can be a delicate area. Professional regulators need to be responsive to the public they are to protect.However, sometimes complaints are not appropriate. These situations must be handled well to maintainpublic confidence.
Basic Excellent
Although the number of complaints seems to be reasonable given the number of regulated professionals and the nature of professional practice, there is no systematic analysis or linkage to the planning process.
Although the intent is not to encourage frivolous complaints, the professional regulator does want the public to file complaints when warranted. The professional regulator makes it easy for members of the public to file a complaint when such complaint may be warranted.
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84. The professional regulator has a number of processes that facilitate the informal resolution of complaints.
The primary goal of professional regulation is to protect the public by preventing bad practice, promotinggood practice, and intervening when practice is unacceptable. Complaints will arise when there is a mismatchbetween the expectations of the public and the behaviour of professionals. Sometimes these are bestunderstood as misunderstandings or miscommunications rather than misconduct. In order to maintaingoodwill between the public and the profession, the professional regulator may intervene to resolve theconflict where it appears that the issues may have arisen more out of misunderstandings ormiscommunications than misconduct.
Basic Excellent
Although the professional regulator does have processes, at least ‘on paper,’ which facilitates the informal resolution of complaints, these processes are rarely used.
The professional regulator will use a number of alternative dispute resolution mechanisms which aim to resolve matters before they become formal complaints. Alternative mechanisms are used frequently to resolve complaints.
85. The professional regulator is impartial and appears to be impartial in the handling of complaints and is seento be such.
There is a certain segment of the public which will be sceptical of the professional regulator’s impartiality.Professional regulators cannot assume that the public will appreciate that their complaints handling process isimpartial.
Basic Excellent
There is reasonable confidence on the part of the public in the fairness of regulatory decisions, although the Regulatory Body does not have any specific initiatives to bolster the perceptions of fairness in the handling of complaints.
The professional regulator has a sophisticated approach to complaints and does a great job of communicating how its complaints are handled with impartiality.
86. Complaints are used to guide programs and initiatives.
Complaints are an important source of information about issues. It may speak to issues regarding professionalpractice; it may indicate an area where professional practice does not line up with the expectations of thepublic. Professional regulators should make the best use of this information.
Basic Excellent
When there are a number of similar complaints, there may be some thought given to some kind of response.
The professional regulator has developed a system to categorise and track complaints by type. This information feeds into the planning process.
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87. Complaints are addressed without delay.
This is an area that is sometimes difficult. Because of the procedural protections afforded to individualsinvolved in regulatory proceedings, matters will often take more time that many think it should. Professionalregulators need to put in place policies and mechanisms which facilitate the expeditious resolution ofcomplaints while at the same time respecting the requirements of natural justice.
Basic Excellent
The professional regulator is aware that the amount of time it takes to resolve complaints is important to all parties. And although the Regulatory Body endeavours to resolve complaints without any undue delay, it has not set standards or guidelines for the resolution of complaints.
The professional regulator is seen to be fair by all parties to regulatory decisions. The Regulatory Body measures the perceptions of fairness of regulatory decisions of the parties to regulatory decisions. The public has high confidence in the fairness of regulatory decisions. The Regulatory Body has established standards or guidelines to ensure that complaints are dealt with quickly.
88. The professional regulator carries out thorough and professional investigations.
Professional regulators are often required, by law, to investigate all credible complaints against one of theirmembers. Investigations must be thorough. The challenge here is to reach the proper balance.
Basic Excellent
The quality of investigations is inconsistent. Investigations are consistently well done. The investigations are thorough and yet efficiently carried out. The Regulatory Body has the competence and capacity to carry out regulatory investigations (using either internal or external resources)
89. The discipline process has rules of procedure which are published and accessible.
The rules of procedure are important in ensuring fairness in disciplinary proceedings. For those who may beinvolved in a disciplinary proceeding, the rules of procedure are an essential guide to the process.
Basic Excellent
The professional regulator has developed comprehensive and detailed rules of procedure for the discipline process, but these are not easy to find on the organization’s website.
The professional regulator has published comprehensive and detailed rules of procedure for the discipline process. These rules of procedure are consistent with all legislated requirements in regards to the conduct of hearings. These rules of procedure are easy to find on the organization’s website.
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90. Disciplinary proceedings meet high standards of procedural fairness.
Because of the potential consequences of disciplinary proceedings, it is important that such proceedings meethigh standards of procedural fairness. In some jurisdictions, legislation defines minimum procedural standardsfor regulatory proceedings when hearings are called for.
Basic Excellent
Disciplinary proceedings are handled competently and with adequate procedural protections for all parties.
Disciplinary proceedings are beyond reproach. They are carried out most professionally and afford strong procedural protections for all parties.
91. The right balance is struck between administrative efficiency and procedural fairness.
There is a basic trade-off between ‘administrative efficiency’ and ‘procedural fairness.’ In generalterms, the more procedural protections are built into a process, the more matters may take timeand suffer from delays and extra costs. The requirements of fairness, consistency, andtransparency; as well as the existence of internal and external appeal mechanisms pull for morecareful processes and procedures. An important aspect of performance as a regulator is getting theright balance between ‘administrative efficiency’ and ‘fairness.’ In matters of professionalregulation, expediency can lead to real problems down the road. It is also the case that the rightbalance is something that needs to be revisited from time to time.
Basic Excellent
Although there is no evidence that regulatory processes either are or appear to be, unduly influenced by cost considerations, the professional regulator struggles with some proceedings which seem to use an inordinate amount of resources to bring to resolution.
The professional regulator has a sophisticated approach where the procedures have been implemented to facilitate the expeditious disposition of regulatory proceedings without compromising procedural protections.
92. Discipline hearings are public and publicized.
That discipline hearings be public and publicized serves the public interest. Transparency of disciplinaryproceedings supports increased public confidence in the professional regulator’s exercise of delegatedpowers.
Basic Excellent
Although the professional regulator does publicise the time and place that a disciplinary hearing will take place, these are publicized in an obscure place. The fact that such hearings are public is not made known in any announcement regarding upcoming disciplinary hearings.
The professional regulator makes concerted efforts to ensure that all parties who may be interested in a discipline hearing are aware of when a hearing is to occur, the gist of the issues at hand. The time and place that a disciplinary hearing will take place are made public as soon as it known.
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93. Results of discipline hearings made public.
Except in specific circumstances, the results of discipline hearings must be made public. The public issometimes sceptical of professional regulatory bodies’ resolve to effectively discipline their members. Publicconfidence is eroded when there is a perception that the professional regulator is ‘protecting’ their membersmore than it is protecting the public.
Basic Excellent
The outcomes of discipline hearings are published, but not in a way that is easy to access.
The outcomes of discipline hearings are published in a manner that makes these accessible.
94. There is an independent and impartial internal review or appeals process.
The key aspect here is the independence and impartiality of the internal review or appeal process, or perhapsthe perception of independence and impartiality of the internal review or appeal process. The internal reviewor appeal process must be positioned in such a way that the review or appeal is, and is widely understood tobe, independent and impartial.
Basic Excellent
The appeals process is independent and impartial although it may not appear to be to some stakeholders.
The appeals process is independent. Safeguards have been put in place to ensure that appeals are impartial. The appeals process is widely seen to be independent and impartial.
95. The grounds for appeal are clearly spelled out and published.
Appeals processes are often misunderstood. Again maintaining public confidence requires that there are clearexplanations as to what the appeals process is all about, what are the grounds for appeal, and how theinternal review of appeals process works.
Basic Excellent
The grounds for appeal are published, but the explanation may sketchy.
The grounds for appeal are clearly spelled out and published. These grounds are explained in terms that are easily understood by everyone.